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Advisers on the Move

Track the latest teams of advisers and brokers who are changing firms and view recruiting activity at wirehouses, regional brokerages, RIAs and independent broker-dealers.

For production and additional details, click on adviser(s) name for full profile.

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Charles Laverty, Carol PipitoneCalton & AssociatesOppenheimer$9004-24-2014
Gerald SarokenBank of America Merrill LynchMorgan Stanley Wealth Management$11604-24-2014
Brian SarokenBank of America Merrill LynchMorgan Stanley Wealth Management$19304-24-2014
Joseph H. McAuley, Jr.Robert W. Baird & Co.Wells Fargo Advisors$004-14-2014
Sean A. SmalleyLPL FinancialCharles Schwab$7504-11-2014
Steven Guggenheimer, George ZakiJanney Montgomery ScottBarclays$21404-10-2014
Morrie SymsonNFP Advisor Services GroupUBS Financial Services$004-10-2014
David MizrahiNFP Advisor Services GroupWells Fargo Advisors$004-10-2014
David W. RussellING Financial PartnersCetera$6204-09-2014
Michael Cohen, Benjamin CohenRaymond JamesJ.P. Morgan Securities LLC$64004-08-2014
Julio Castro, Michael Cozene, Arthur NodererEvercore Wealth ManagementSuntrust Investment Services$004-07-2014
James W. StorySummit Brokerage ServicesFirst Midwest Securities$6504-04-2014
David S. MowattGirard SecuritiesCetera$15004-04-2014
Ileana D. PlattRBC Wealth ManagementBarclays Wealth$24004-04-2014
Gary R. WhineryStifel Nicolaus & Co.Wedbush Securities$004-04-2014
Jeffrey M. FratarcangeliWells Fargo AdvisorsBank of America Merrill Lynch$42404-04-2014
Susan G. FreedChevy Chase TrustFreed Advisors$004-03-2014
Albert Fox, Edward Penberthy, Joseph DehnMorgan Stanley Wealth ManagementBank of America Merrill Lynch$60003-27-2014
David BeharMorgan Stanley Wealth ManagementUBS Financial Services$20003-27-2014
Eugene C. Thompson IVCapital Investment Co.Wells Fargo Advisors$6503-27-2014
Mark CourtemancheCapital Investment Co.Argentus Advisors$9003-27-2014
Carrie S. Gallaway, Andrew L. SternLebenthal Wealth AdvisorsMorgan Stanley Wealth Management$1,20003-25-2014
Charles Wareham, Craig Breitsprecher, Tom Polowy, Vincent WinansIndependent Financial GroupLPL Financial$9503-25-2014
Paul J. MerzSecurities AmericaValmark Securities$8403-24-2014
Michael A. RosenthalRetirement Benefits GroupLPL Financial$003-20-2014
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Disclaimer: The moves in this database come from a number of sources: InvestmentNews and other media reports, press releases, and direct submissions that have been reviewed by InvestmentNews. Any corrections, updates or clarifications should be e-mailed directly to the IN staff.